Bruckenstein, Welsh to Offer Top Tech Tips for Advisors
Nov. 2 webinar will highlight what IT insiders think about CRM, cybersecurity and other issues influencing financial advisors and their business-growth plans.
Senate Panel to Hold Vote on SEC Nominees Peirce, Jackson
If confirmed by the Senate Banking Committee Wednesday, their nominations would then move to the full Senate for consideration.
How to Think Outside the ‘Black Box’ on Succession Planning
To boost their practice valuations, advisors must focus on translating prospective improvements into reality, according to Truelytics’ Kevin Connor.
What Morgan Stanley’s Broker Protocol Exit Means for Advisors
Morgan Stanley says the accord has become unsustainable; a recruiter says the policy change could make it harder for advisors to leave.
FSI Offers Disclosure Alternative to BICE
The lobbying group suggests that firms should offer a concise disclosure at the point of sale with a more detailed disclosure available on their websites.
SEC Provides Relief to Advisors, BDs From European MiFID II Rules
The action reduces “the substantial uncertainty our members have lived under as they have tried to plan for implementation of MiFID II," said IAA's Barr.
Titles in Focus (Again)
Is truth in advertising the solution to investor confusion?
Zenefits Settles With SEC Over Charges It Misled Investors
The company and its former CEO have not admitted any wrongdoing.
Treasury Backs DOL Fiduciary Rule Delay
A just-released Treasury report also calls for more annuity access in 401(k) plans and a "plain vanilla" ETF rule from the SEC.
Former Chief of Staff to SEC's White Joins Shearman & Sterling
Former SEC IM director Buddy Donohue is now counsel in the firm's Investment Funds practice in New York.